(A pdf version of Ch. 6 is at the bottom of the page)

[Arbitrations that were filed prior to November 29, 2007, will continue to be governed by the Rules and Regulations in former CBOT Chapter 6.]

JURISDICTION

600.                  DISPUTES SUBJECT TO CBOT ARBITRATION
                                  600.A.   Disputes Among Members
                                  600.B.   Disputes Between Members and Certain Non-Member Employees
                                  600.C.  Claims Against the Exchange
                                  600.D.   Permissive Arbitrations
                                  600.E.   Waiver of Any Objection to Jurisdiction
                                  600.F.   Hearing Panel

601.                  CUSTOMER CLAIMS AGAINST MEMBERS
                                  601.A.   Definitions
                                  601.B.   Refusal to Hear Certain Disputes
                                  601.C.   Initiation of Arbitration
                                  601.D.   Referral to Arbitration Panel or Mixed Panel

 

FILING PROCEDURES

602.                  INITIATING AN ARBITRATION CLAIM

603.                  ANSWERING AN ARBITRATION CLAIM

604.                  FAILURE TO ANSWER

605.                  COUNTERCLAIMS, CROSS-CLAIMS AND THIRD-PARTY CLAIMS

606.                  REVIEW OF ARBITRABILITY

607.                  CONSOLIDATION OF ARBITRATION DISPUTES

608.                  WITHDRAWAL OF CLAIMS

609.                  PERIOD OF ELIGIBILITY FOR ARBITRATION

610.                  PARALLEL PROCEEDINGS

PRE-HEARING PROCEDURES

611.                  REQUESTS FOR DOCUMENTS, INFORMATION OR TESTIMONY

612.                  DOCUMENTS AND WITNESSES TO BE PRESENTED AT HEARING

613.                  ADDITIONAL PROCEDURES

 

HEARINGS

614.                  ARBITRATION PANEL
                                  614.A.   Appointment of Arbitration Panel
                                  614.B.   Requests to Remove an Arbitrator

615.                  HEARING PROCEDURES
                                  615.A.   Chairman
                                  615.B.   Arbitrators
                                  615.C.   Parties and their Representatives
                                  615.D.   Witnesses
                                  615.E.   Hearing Record

 

DECISIONS

616.                  AWARDS
                                  616.A.   Decision by Panel
                                  616.B.   Decision by the Chairman
                                  616.C.   Limitations on Monetary Awards

617.                  CORRECTION OF AWARD

618.                  SATISFACTION OF AWARD

APPEALS

619.                  APPEAL

620.                  STANDARDS AND PROCEDURES FOR REVIEW UPON APPEAL

ADDITIONAL CLAIMS

621.                  CERTAIN CLAIMS AGAINST THE EXCHANGE INVOLVING TRADING SYSTEMS OR SERVICES
                                  621.A.  General
                                  621.B.  Initial Liability Claim and Demand for Arbitration
                                  621.C.  Selection of Arbitration Panel
                                  621.D.  Related Claims
                                  621.E.  Award
                                  621.F.  Satisfaction of Award by Exchange

622.            CLAIMS RELATING TO TRADE CANCELLATIONS OR PRICE ADJUSTMENTS

MISCELLANEOUS

623.                  RIGHT TO COUNSEL

624.                  COMPUTATION OF TIME

625.                  SUBMISSIONS TO OR COMMUNICATIONS WITH THE PANEL

626.                  ARBITRATION FEES

ARBITRATION COMMITTEE

627.                  ARBITRATION COMMITTEE